AVP - Compliance - Financial Services

Compliance :

a. Develop and maintain regulatory policies and procedures under the Compliance Program, including review mechanisms to ensure its continuous effectiveness in ensuring all applicable compliances by the company also managing day-to-day operations of the compliances.

b. Collaborate with cross-functional teams to facilitate implementation of compliance requirements at all levels/process of the organization and to direct compliance issues to respective functions for resolution.

c. Ensure compliance with the statutory requirements and regulations prescribed for NBFC by RBI and all other applicable laws/policies.

d. Should be able to independently draft compliance checklists, manuals and other regulatory documentation such as Money laundering Risk assessment etc..

e. Monitor & Highlight alleged violations of RBI laws, rules and regulations applicable to NBFCs and recommend procedures for corrective action.

f. Maintaining and organize compliance records in consonance with internal control and audit mechanisms.

g. Establish and drive implementation of Corporate Governance norms to ensure transparency across business operations.

h. Liaise and build relations with the Registrar of Companies, Reserve Bank of India and other statutory authorities. Periodically provide returns/forms required by them.

i. Assist in advising management of the legal, regulatory implication of proposed new initiatives of the Company.

j. Understanding of Capital Adequacy, SBL, GBL and customer complaints related Compliances.

k. Experience of handling governance and compliance activities in the Banking and Financial Service Related Industry.